Compliance Intake Analyst

at  interactive brokers

QUALIFICATIONS

• Outstanding organizational and time management skills are a must.
• Familiarity with the financial services regulatory environment (broker-dealer, investment adviser, futures commission merchant, etc.) is helpful but not required.
• Solid academic background – Bachelor’s Degree or equivalent experience.
• Ability to work independently in a small team environment and manage competing priorities
• Clear, concise communication skills
• High degree of comfort with technology and ability to quickly learn IBKR systems

THIS IS A HYBRID ROLE (THREE DAYS IN THE OFFICE/TWO DAYS REMOTE).

Interactive Brokers Group has been consistently at the forefront of trading innovation, starting with the invention of the first floor-based handheld computer in 1983. We pride ourselves on being primarily a technology company and challenging the status quo. We push boundaries to offer our clients the best trading platform with the most sophisticated features at the lowest cost. Software development is the lifeblood of our firm, and it shows in our stellar brokerage platform. Interactive Brokers is regularly recognized as a leader in the financial services industry.
Interactive Brokers seeks to hire a Compliance Intake Analyst for the Regulatory Correspondence Unit in its Chicago Office. This role will report to the Regulatory Correspondence Unit Head and operate as part of a broader team to help ensure that the firm complies with the Bank Secrecy Act, USA PATRIOT Act, anti-terrorist financing, sanctions, industry Anti-Money Laundering (AML), and securities laws, rules, and regulations.

RESPONSIBILITIES

• With limited oversight, own the Regulatory Correspondence intake process by:
• Identifying and assessing inquiries from regulatory and law enforcement authorities and
• Creating and assigning related matters within internal case management promptly.
• Monitor regulatory response timelines and facilitate timely regulatory productions.
• Communicate with regulators, law enforcement officials, and IBKR stakeholders regarding case status.
• Escalate matters to Regulatory Correspondence management as appropriate.
• Involvement in special projects as necessary